DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Feed of 09/14/2026
Also filed as Tim Caso
At current firm
3 y
since Sep 26, 2022
In the industry
32 y
since Mar 2, 1994 (earliest exam, job or registration)
Prior registered firms
8
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Spc BD affiliated currentsince Sep 26, 2022 · Ann Arbor, Mi
- Esi Financial Advisors independent RIAMay 14, 2020 to Sep 17, 2021 · Media, Pa
- MML Investors Services, LLC BD affiliatedFeb 22, 2018 to Mar 16, 2020 · Horsham, Pa
- Concorde Asset Management, LLC BD affiliatedOct 13, 2016 to Sep 19, 2017 · Marlton, Nj
- Ameriprise Financial Services, LLC national BDFeb 24, 2014 to Dec 22, 2014 · Conshohocken, Pa
- Bcg Securities, Inc. independent RIAMay 23, 2013 to Feb 12, 2014 · Cherry Hill, Nj
- Msi Financial Services, Inc. formerMar 13, 2012 to May 20, 2013 · Lansdale, Pa
- Nationwide Securities, LLC no RAUMAug 6, 2010 to Nov 28, 2011 · Quakertown, Pa
- Msi Financial Services, Inc. formerAug 24, 2007 to Jan 23, 2009 · Somerset, Nj
Moves
a registration end followed by a registration begin elsewhere
- Esi Financial Advisors to Spcleft Sep 17, 2021, registered Sep 26, 2022 (374 days) · Affiliated broker-dealer or bank to another
- MML Investors Services, LLC to Esi Financial Advisorsleft Mar 16, 2020, registered May 14, 2020 (59 days) · Affiliated broker-dealer or bank to another
- Concorde Asset Management, LLC to MML Investors Services, LLCleft Sep 19, 2017, registered Feb 22, 2018 (156 days) · Other
- Ameriprise Financial Services, LLC to Concorde Asset Management, LLCleft Dec 22, 2014, registered Oct 13, 2016 (661 days) · Other
- Bcg Securities, Inc. to Ameriprise Financial Services, LLCleft Feb 12, 2014, registered Feb 24, 2014 (12 days) · Other
- Msi Financial Services, Inc. to Bcg Securities, Inc.left May 20, 2013, registered May 23, 2013 (3 days) · Other
- Nationwide Securities, LLC to Msi Financial Services, Inc.left Nov 28, 2011, registered Mar 13, 2012 (106 days) · Other
- Msi Financial Services, Inc. to Nationwide Securities, LLCleft Jan 23, 2009, registered Aug 6, 2010 (560 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address